Immigration Benefits
Additional Efforts Needed to Help Ensure Alien Files Are Located when Needed Gao ID: GAO-07-85 October 27, 2006To document the interactions of aliens with the Department of Homeland Security's (DHS) United States Citizenship and Immigration Services (USCIS) and other government entities, USCIS creates alien files, or A-files. While deemed critical, especially in making citizenship decisions, A-files are sometimes missing during adjudications. In 2002, naturalization was granted to an alien whose A-file was missing and who was later found to be associated with a terrorist organization. GAO focused its review on (1) how often USCIS adjudicates naturalization applications without an A-file and why, (2) the effect that missing A-files can have on the adjudication process, and (3) steps taken to help mitigate the risk of missing A-files. To address these questions, GAO interviewed officials and staff from USCIS and reviewed relevant data, policies, and procedures related to processing naturalization applications and the automated file-tracking system DHS established to track the movement of A-files.
A-files were not available to adjudicate naturalization applications in a small percentage of cases. GAO found that of the naturalization applications adjudicated in 2005, about 30,000--or about 4 percent of them--may have been adjudicated without A-files. However, this number may be less because USCIS staff are not required to record whether an A-file was available. USCIS officials said that a major reason A-files were not available for naturalization application adjudications is that staff are not using the automated file-tracking system. USCIS officials suggested that staff might not be using the automated file-tracking system for lack of sufficient training on how to use the system, while local management may not be adequately emphasizing the importance of complying with A-file tracking policies and procedures. Missing A-files can have an impact on the process of adjudicating naturalization applications in several ways. For example, when an A-file is not available at the location indicated in the automated file-tracking system, additional time is spent trying to locate the file, which slows the adjudication process and applicants may wait longer for USCIS to process their application. In addition, missing A-files can hinder USCIS's ability to uncover immigration benefit fraud and limit DHS' ability to take enforcement actions. USCIS has steps in place to help mitigate the risk of adjudicating a naturalization application without an A-file. These steps include verifying the applicant's lawful admission to the United States and conducting extra supervisory reviews to ensure that naturalization processing procedures have been followed.
RecommendationsOur recommendations from this work are listed below with a Contact for more information. Status will change from "In process" to "Open," "Closed - implemented," or "Closed - not implemented" based on our follow up work.
Director: Team: Phone:GAO-07-85, Immigration Benefits: Additional Efforts Needed to Help Ensure Alien Files Are Located when Needed
This is the accessible text file for GAO report number GAO-07-85
entitled 'Immigration Benefits: Additional Efforts Needed to Help
Ensure Alien Files Are Located when Needed' which was released on
November 29, 2006.
This text file was formatted by the U.S. Government Accountability
Office (GAO) to be accessible to users with visual impairments, as part
of a longer term project to improve GAO products' accessibility. Every
attempt has been made to maintain the structural and data integrity of
the original printed product. Accessibility features, such as text
descriptions of tables, consecutively numbered footnotes placed at the
end of the file, and the text of agency comment letters, are provided
but may not exactly duplicate the presentation or format of the printed
version. The portable document format (PDF) file is an exact electronic
replica of the printed version. We welcome your feedback. Please E-mail
your comments regarding the contents or accessibility features of this
document to Webmaster@gao.gov.
This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed
in its entirety without further permission from GAO. Because this work
may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this
material separately.
Report to Congressional Requesters:
United States Government Accountability Office:
GAO:
October 2006:
Immigration Benefits:
Additional Efforts Needed to Help Ensure Alien Files Are Located when
Needed:
GAO-07-85:
GAO Highlights:
Highlights of GAO-07-85, a report to congressional requesters
Why GAO Did This Study:
To document the interactions of aliens with the Department of Homeland
Security‘s (DHS) United States Citizenship and Immigration Services
(USCIS) and other government entities, USCIS creates alien files, or A-
files. While deemed critical, especially in making citizenship
decisions, A-files are sometimes missing during adjudications. In 2002,
naturalization was granted to an alien whose A-file was missing and who
was later found to be associated with a terrorist organization. GAO
focused its review on (1) how often USCIS adjudicates naturalization
applications without an A-file and why, (2) the effect that missing A-
files can have on the adjudication process, and (3) steps taken to help
mitigate the risk of missing A-files. To address these questions, GAO
interviewed officials and staff from USCIS and reviewed relevant data,
policies, and procedures related to processing naturalization
applications and the automated file-tracking system DHS established to
track the movement of A-files.
What GAO Found:
A-files were not available to adjudicate naturalization applications in
a small percentage of cases. GAO found that of the naturalization
applications adjudicated in 2005, about 30,000”or about 4 percent of
them”may have been adjudicated without A-files. However, this number
may be less because USCIS staff are not required to record whether an A-
file was available. USCIS officials said that a major reason A-files
were not available for naturalization application adjudications is that
staff are not using the automated file-tracking system. USCIS officials
suggested that staff might not be using the automated file-tracking
system for lack of sufficient training on how to use the system, while
local management may not be adequately emphasizing the importance of
complying with A-file tracking policies and procedures.
Missing A-files can have an impact on the process of adjudicating
naturalization applications in several ways. For example, when an A-
file is not available at the location indicated in the automated file-
tracking system, additional time is spent trying to locate the file,
which slows the adjudication process and applicants may wait longer for
USCIS to process their application. In addition, missing A-files can
hinder USCIS‘ s ability to uncover immigration benefit fraud and limit
DHS‘ ability to take enforcement actions.
USCIS has steps in place to help mitigate the risk of adjudicating a
naturalization application without an A-file. These steps include
verifying the applicant‘s lawful admission to the United States and
conducting extra supervisory reviews to ensure that naturalization
processing procedures have been followed.
Figure: Additional Time Spent Locating A-files when A-files Are Not
Initially Received at USCIS District Offices:
[See PDF for Image]
Source: GAO.
[End of Figure]
What GAO Recommends:
GAO recommends that USCIS require adjudicators to record whether an A-
file was available in naturalization adjudications and, with other DHS
users of A-files, determine why staff are not complying with file-
tracking procedures and correct any deficiencies. In its comments, DHS
agreed with our recommendations.
[Hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-07-85].
To view the full product, including the scope and methodology, click on
the link above. For more information, contact Paul Jones at (202) 512-
8777 or JonesPL@gao.gov.
[End of Section]
Contents:
Letter:
Results in Brief:
Background:
Extent to Which Naturalization Cases Are Adjudicated without an A-file
Appears Low, but Compliance with File-Tracking Procedures Is Lacking:
Missing A-files Can Affect the Naturalization Adjudication Process in
Several Ways:
Naturalization Quality Procedures Help to Mitigate the Risk of
Adjudicating a Naturalization Application without an A-file:
Conclusions:
Recommendations for Executive Action:
Agency Comments and Our Evaluation:
Appendix I: Scope and Methodology:
Appendix II: Comments from the Department of Homeland Security:
Appendix III: GAO Contact and Staff Acknowledgments:
Tables:
Table 1: Results from Los Angeles District File Audit for Three
Locations:
Figures:
Figure 1: Steps Involved in Locating A-files for Naturalization
Applications:
Abbreviations:
CLAIMS: Computer-Linked Application Information Management System:
CBP: Customs and Border Protection:
DHS: Department of Homeland Security:
FBI: Federal Bureau of Investigation:
IBIS: Interagency Border Inspection System:
ICE: Immigration and Customs Enforcement:
NFTS: National File Tracking System:
NQP: Naturalization Quality Procedures:
ROH: Records Operation Handbook:
USCIS: United States Citizenship and Immigration Services:
United States Government Accountability Office:
Washington, DC 20548:
October 27, 2006:
The Honorable Susan M. Collins:
Chairman, Committee on Homeland Security and Governmental Affairs:
United States Senate:
The Honorable Charles E. Grassley:
Chairman, Committee on Finance;
United States Senate:
The United States Citizenship and Immigration Services (USCIS), within
the Department of Homeland Security (DHS), is responsible for
processing noncitizens' applications (sometimes commonly referred to as
benefit applications) to live and in some cases work in the United
States either permanently or on a temporary basis or to become a United
States citizen. For certain noncitizens, such as immigrants, USCIS
creates an alien file, called an A-file, to serve as the one central
file for all of the noncitizen's immigration-related applications and
related documents. USCIS manages over 55 million A-files. Not only do
USCIS staff rely on an alien's historical A-file to determine
eligibility for immigration benefits, but other DHS components, such as
Immigration and Customs Enforcement (ICE), use A-files during criminal
investigations and to determine, for example, whether an alien should
be removed from or allowed to stay in the United States. Information
and documents from A-files may also be shared with other law
enforcement agencies, such as the Federal Bureau of Investigation
(FBI), to investigate individuals suspected of being involved in
terrorist activities. Consequently, it is critical that A-files be
available when needed. Because A-files are paper-based, they require
physical transfer from one location to another. USCIS has developed an
automated file-tracking system, called the National File Tracking
System (NFTS), to enable all DHS staff at numerous DHS locations around
the country to locate, request, receive, and transfer A-files. NFTS
users are to access USCIS's NFTS intranet site via their personal
computers to locate and request an A-file and update NFTS when they
receive an A-file or transfer an A-file to another person or office.
Naturalization is the process whereby a noncitizen becomes a United
States citizen. An application for naturalization is both the last step
in the immigration process and the last opportunity for USCIS, through
its benefit-granting review procedures, to prevent ineligible
noncitizens from becoming citizens and hence remaining in the United
States.[Footnote 1] In 2002, USCIS's predecessor, the Immigration and
Naturalization Service, granted naturalization to a noncitizen who was
later identified to be associated with a terrorist organization. In
this case, the adjudicator had not obtained the A-file in adjudicating
the application for naturalization and deciding to grant the benefit.
Indeed, background checks conducted as part of USCIS's naturalization
process continue to reveal instances where individuals who pose a
potential risk to national security have applied for naturalization.
Because naturalization is the final benefit that USCIS can bestow upon
a noncitizen, it is critical that USCIS staff have access to the full
and complete history of an applicant--which is contained only in the A-
file--before making a final eligibility decision.
Because of the importance of the naturalization decision, we focused
our review on the availability of A-files in adjudicating
naturalization applications. For this report we examined (1) the extent
to which USCIS records how often naturalization applications are
adjudicated without an A-file, as well as the reasons why an A-file
might be missing; (2) the effect that missing A-files can have on the
adjudication of naturalization applications; and (3) what steps USCIS
takes to help mitigate the risk of adjudicating naturalization
applications without an A-file.
To address these objectives, we sent e-mail questionnaires and followed
up with phone calls to officials and staff from 13 USCIS district
offices and reviewed relevant documents, policies, and procedures on
processing naturalization applications. We also obtained written
responses from another district for a total of 14 district offices. We
selected these offices because they adjudicated most of the
naturalization applications. Specifically, USCIS data indicate that
these 14 offices adjudicated nearly two-thirds of the approximately
715,000 naturalization applications adjudicated in fiscal year 2005. To
examine the extent to which USCIS records how often naturalization
applications are adjudicated without an A-file and why A-files might be
missing, we obtained summary data from a USCIS database containing
information on whether an A-file was available when adjudicating a
naturalization application. We also obtained summary data from NFTS on
A-files indicated as lost and, as having been in transit and yet to be
recorded as received. We also interviewed officials from USCIS
headquarters and obtained instructions and guidance about using,
locating, and requesting A-files. To determine the effect that missing
A-files can have on the adjudication process, we interviewed USCIS
district office officials and staff. To determine if USCIS has
instituted additional procedures to help mitigate the risk of
adjudicating a naturalization application without an A-file, we
reviewed policies and procedures related to processing these
applications, interviewed USCIS officials, and reviewed relevant
documents. In a prior review we determined how USCIS ensures the
quality and consistency of adjudicator decisions by examining USCIS's
two quality assurance programs and resulting outcomes, and reviewed the
findings and recommendations of an independent study of USCIS's quality
assurance programs.[Footnote 2] To assess the reliability of USCIS's
system for managing naturalization applications and NFTS data we (1)
reviewed summary data and specific data elements for obvious errors in
accuracy and completeness, (2) reviewed related documentation, and (3)
interviewed USCIS staff knowledgeable about USCIS's system for managing
naturalization applications and NFTS. We found the data from its system
for managing naturalization applications and its quality assurance
database were sufficiently reliable for our purposes. Regarding NFTS,
we found that the summary data we used were sufficiently reliable for
the purposes of this report. We conducted our review from August 2005
through August 2006 in accordance with generally accepted government
auditing standards. Appendix I presents more details on our scope and
methodology.
Results in Brief:
A-files were not available in a relatively small percentage of
naturalization cases. USCIS officials attributed the unavailability of
A-files to staff failure to use its file-tracking system in a timely
fashion or sometimes at all. Although USCIS does not keep track of when
naturalization applications are adjudicated without an A-file, data
from USCIS's database for managing naturalization applications
indicated that A-files were available for 685,000 of the approximately
715,000 naturalization applications--or 96 percent--adjudicated
nationwide in fiscal year 2005, indicating that A-files may not have
been used in 30,000 applications. However, USCIS officials said that A-
files were probably used to process some of the 30,000 applications
because adjudicators are not required to indicate in the naturalization
database if an A-file was not used. In addition, USCIS conducted
quality assurance audits of a sample of about 29,000 naturalization
cases adjudicated in fiscal year 2005 and found that A-files were not
available in 129 cases, less than 1 percent. However because of
limitations in USCIS's sampling methodology, the results of this audit
could not be projected to the universe of applications adjudicated in
that fiscal year. Available data can indicate only a range of how often
an A-file was not available (from perhaps as high as 4 percent of all
cases to less than 1 percent). Since USCIS deems reviewing the A-file
critical to the naturalization adjudications process, the lack of
precise data on when an A-file is not available limits USCIS's ability
to determine compliance with this critical step and whether additional
actions are necessary to ensure A-files are available when needed.
USCIS officials also told us that adjudicators sometimes had difficulty
locating A-files because the A-file's location indicated in NFTS was
incorrect or not up to date. For example, an April 2005 file audit by
USCIS's San Diego district office found that nearly 21 percent of the
district's files (11,731 of 56,092 files audited) were not in the
location shown in NFTS. In addition, NFTS procedures require DHS staff
receiving an A-file to "immediately" update the system. During our
review, USCIS checked the NFTS and found over 100,000 A-files were
shown to be in transit more than 30 days. The failure of some staff to
update NFTS to record the movement of an A-file, such as when they
receive or transfer one, is a major reason for delays in locating A-
files or in not being able to locate an A-file at all. As of July 27,
2006, for the 14 district offices we included in our review, NFTS
indicated that about 111,000 A-files were lost. USCIS officials
suggested that staff may not be using NFTS because they may lack
training (Web-based training is available) on how to use the system and
that management may not be emphasizing enough the importance of using
NFTS.
Missing A-files can have an impact on the process of adjudicating
naturalization applications in several ways. They can cost staff extra
time and effort trying to locate them. Applicants for naturalization,
in turn, may wait longer for USCIS to process their applications. For
example, USCIS procedures for processing naturalization applications
allow USCIS to wait up to 3 months to try to find an A-file, thereby
possibly delaying adjudicating the application. Because an A-file might
contain potentially disqualifying information about an applicant,
adjudicating an immigration benefit application without an A-file also
increases the risk of granting a benefit to an ineligible applicant. In
addition, DHS may not be able to take an enforcement action against an
applicant because the necessary evidence is in the missing A-file.
USCIS has steps in place to help mitigate the risk of adjudicating a
naturalization application without an A-file. These steps include
verifying the applicant's lawful admission to the United States and
conducting extra supervisory reviews to ensure that naturalization
processing procedures have been followed. Officials we spoke with told
us that they believed these additional steps help mitigate the risk of
adjudicating a naturalization application without an A-file. Available
data indicate that these additional steps are being followed nearly all
of the time. Of the 129 quality assurance audit cases sampled in 2005
where an A-file was not available, USCIS staff did not follow all of
the required procedures in 5 applications. Officials from several
district offices said that the standard adjudication procedures
(applicable whether or not an A-file is missing), such as background
security checks, also help reduce the risk somewhat of granting
naturalization to someone who is ineligible.
In order to improve USCIS's management information, prevent unnecessary
delay, and more efficiently adjudicate applications, we are
recommending that the Secretary of Homeland Security direct the
Director of USCIS to:
* require users to record or note whether an A-file was used to
adjudicate a naturalization application and,
* work together with other DHS users of A-files to:
- determine the extent to which staff may not be complying with NFTS
procedures for updating the system and why, and:
- correct any identified deficiencies in file tracking compliance.
We provided a draft of this report to DHS. DHS stated that the report
generally provided a good overview of the complexities associated with
the process for ensuring adjudication officers have A-files when
adjudicating naturalization applications. DHS agreed with both of our
recommendations and cited actions it plans to take to implement them.
Background:
Millions of noncitizens apply annually to enter the United States to
live, work, or study. USCIS creates alien files, more commonly called A-
files, to document the history of a person's interaction with USCIS or
any DHS entity involved in immigration related actions. USCIS's Records
Operation Handbook (ROH) provides instruction on when and how to create
an A-file as well as how to request files and transfer them from one
office to another. USCIS maintains A-files on certain individuals,
including those who:
* are immigrants or who apply for immigrant status,
* have become citizens, or:
* have applied for asylum in the United States or refugee status
overseas.
The A-file is to contain all of the relevant documents of an alien's
interactions with USCIS or other DHS components. For example, the A-
file could contain an application for lawful permanent residency and
petitions for an alien relative as well as documents related to
enforcement actions such as an arrest warrant and the results of any
immigration proceedings. While USCIS is the main user of A-files and
the official DHS custodian for all of them, other DHS components, such
as ICE and Customs and Border Protection (CBP), also use A-files for
investigations or other enforcement actions. In addition, information
and documents from A-files may be shared with agencies such as the FBI
and Department of State. According to senior USCIS officials, USCIS
spends about $13 million each year transporting A-files within USCIS
and to other components and agencies.[Footnote 3] USCIS's long-range
plans call for eventually converting paper A-files into electronic
files, thus avoiding these transportation costs and making A-files
available to multiple users simultaneously. In August 2006, USCIS
awarded a 5-year $150 million contract to begin converting A-files.
USCIS adjudicates applications for immigration benefits through a
network of field offices that include 4 service centers, 33 district
offices, and 8 asylum offices. In fiscal year 2005, USCIS's budget was
about $1.8 billion and USCIS adjudicated about 7.5 million
applications, of which over 715,000 were applications for
naturalization. Naturalization applications are adjudicated at USCIS
district offices and require the applicant to, among other things,
undergo a security background check, be interviewed by an adjudicator
and, demonstrate proficiency in English and a basic understanding of
U.S. civics. As part of the adjudications process, adjudicators are to
review the applicant's A-file to identify any information that may
disqualify the applicant for naturalization, including information that
may indicate potential fraud. Of the over 715,000 naturalization
applications adjudicated in fiscal year 2005, USCIS denied about
64,000.
All applications for an immigration benefit, including naturalization,
are to be filed in the applicant's A-file. USCIS staff use USCIS's
Central Index System to locate and request the A-file from the last
known office location. However, the Central Index System can only
identify the office location for the A-file; it does not provide
precise information about where in an office an A-file is located.
USCIS has NFTS, a system designed to provide more detailed information
on the location of an A-file, down to a specific individual or file
drawer. USCIS's predecessor, the Immigration and Naturalization
Service, began deploying NFTS in November 2002. The system is now
deployed to all records units in USCIS district and asylum offices, the
USCIS's Texas Service Center and National Benefits Center, and all ICE
and CBP units. Tentative plans call for deploying NFTS to USCIS's three
other service centers by March 2007.[Footnote 4] NFTS is a Web-based
system that is available to anyone in DHS who needs A-files. Users can
obtain a user identification code that allows them to request, receive,
and transfer A-files. Web-based training on how to use NFTS is
available via DHS component intranet sites, including USCIS's
EdVanatage Learning University, ICE's Virtual University, and the CBP
Learning University. In January 2004, USCIS, ICE, and CBP signed a
Service Level Agreement in which USCIS agreed to provide A-files to ICE
and CBP, and ICE and CBP agreed to follow the ROH.
USCIS's ROH describes the procedures that are to be followed for
locating, sending, and receiving A-files. The ROH states that all DHS
staff with access to NFTS should use NFTS to, for example,
* record the creation of an A-file,
* request A-files from other offices,
* record when an A-file is sent or transferred out to another office,
and:
* immediately record both when an A-file is received and the file's
specific location.
USCIS uses the Computer-Linked Application Information Management
System (CLAIMS) 4, as the case management and tracking system for
naturalization applications. CLAIMS 4 contains information from the
naturalization application and other data, such as the results from
security background checks and whether or not the application was
approved. CLAIMS 4 can also track the status of a request for the A-
file, indicating whether the A-file has been requested, received by the
district office adjudicating the application, or deemed lost. Figure 1
shows the steps involved in locating A-files for naturalization
applications.
Figure 1: Steps Involved in Locating A-files for Naturalization
Applications:
[See PDF for image]
Source: GAO.
[End of figure]
USCIS's Adjudicator's Field Manual provides adjudicators with guidance
on naturalization procedures and how to determine whether an applicant
meets the eligibility requirements for becoming a citizen. To improve
the quality and consistency of all naturalization application
processing, USCIS has issued Naturalization Quality Procedures (NQP)
guidelines. The NQP provides detailed checklists that clerical staff
and adjudicators must complete at each stage of the naturalization
process. These completed checklists must be included in an A-file,
along with the naturalization application and related documents. The
NQP also requires that adjudicators be certified as NQP trained once
every 3 years.
Extent to Which Naturalization Cases Are Adjudicated without an A-file
Appears Low, but Compliance with File-Tracking Procedures Is Lacking:
Our analysis of USCIS data and interviews with USCIS district officials
indicate that A-files are missing in a relatively small percentage of
naturalization cases but that DHS staff may not always be updating NFTS
when files are moved, resulting in delays in locating A-files or in not
locating them at all. The CLAIMS 4 database contains a data field that
indicates the status of the A-file request, such as whether the file
has been received in the district office, requested but not yet
received, or that the A-file has been declared lost. According to data
from the CLAIMS 4 database, of the approximately 715,000 naturalization
applications adjudicated in fiscal year 2005, the district office
received the A-file in 685,000 of these cases (about 96 percent),
indicating that A-files may not have been available in about 4 percent
(about 30,000) of them. However, USCIS officials told us that this
CLAIMS 4 data field is an optional field that USCIS staff may complete
at various times during the adjudications process or not at all. USCIS
officials told us that of the approximately 30,000 naturalization cases
where the A-file status indicated something other than received in the
district office, A-files were probably available in a number of them.
However, because adjudicators may not always update the A-file data
field to indicate whether the A-file was eventually received, how many
is unknown. In about 13,000 of the approximately 30,000 cases, the A-
file status indicator was blank.
Data from USCIS's quality assurance audit of the naturalization program
also indicate that the A-files are missing in a relatively small
percentage of cases. In fiscal year 2005, the USCIS Performance
Management Division sampled 28,575 naturalization applications
adjudicated by district offices. Staff found that A-files were
available in all but 129 of 28,575 cases sampled, about 0.5 percent.
However, because of limitations in its sampling methodology, USCIS said
this percentage cannot be projected to the universe of approximately
715,000 naturalization applications completed that year. Although USCIS
officials from the 13 district offices we spoke with acknowledged that
their offices do not track how often naturalization applications are
adjudicated without an A-file, they believed the percentage was low.
They estimated the percentage of naturalization applications in fiscal
year 2005 that were adjudicated without A-files ranged from less than 1
percent to 10 percent.
GAO's Standards for Internal Control in the Federal Government states
that information needed to achieve an agency's objectives should be
identified and regularly reported to management.[Footnote 5] According
to USCIS's Naturalization Quality Procedures, having and reviewing an
applicant's A-file is critical to confirming that the applicant is
eligible for naturalization and that no incidents have taken place that
would disqualify the applicant from naturalization. In a November 2005
memo, the Acting USCIS Director of Domestic Operations stated that not
having an A-file should be a "rare" occurrence, but did not quantify
what "rare" meant. Since USCIS deems reviewing the A-file critical to
the naturalization adjudications process, the lack of precise data on
when an A-file is not available limits USCIS's ability to determine
compliance with this critical step and whether additional actions are
necessary to ensure A-files are available when needed.
According to USCIS officials, adjudicators sometimes have difficulty
locating A-files or cannot find them at all because the locations shown
in NFTS are incorrect or not up to date. For example, according to a
summary of the results of an April 2005 file audit conducted by USCIS's
San Diego district office records staff, nearly 21 percent of the
district's files (11,731 of 56,092 files audited) were not in the
location shown in NFTS. Another 34,764 files shown to be under the
control of the San Diego district could not be immediately located
during the audit. Some of these files may have been in locked file
cabinets that audit staff could not access, while others may have been
transferred to another location and were no longer in the district.
NFTS showed duplicate file locations for 464 files. Audit staff also
found 281 of the files that NFTS indicated were lost. About half of the
lost files were found within the local ICE Office of Investigations.
The other half were found mostly within CBP. In addition, in June 2006
the Los Angeles district office conducted a file audit of three
locations that had files. As shown in table 1, about 6 percent of the
files indicated by NFTS to be at these three locations could not be
found.
Table 1: Results from Los Angeles District File Audit for Three
Locations:
Files shown in NFTS;
Number: 4,169;
Percent: 100.
Files in location shown in NFTS;
Number: 3,886;
Percent: 93.
Files not in location shown in NFTS;
Number: 283;
Percent: 7.
Files located after physical search;
Number: 36;
Percent: 1.
Files not found;
Number: 247;
Percent: 6.
Source: GAO analysis of USCIS data.
[End of table]
For some A-files, the office location recorded in NFTS is not up to
date. NFTS procedures require that a person receiving an A-file should
"immediately" update NFTS. According to the Section Chief of the
Records Systems Services Section of USCIS's Office of Records
Management Branch, once a file is sent (either via the U.S. Postal
Service or a private package delivery service) from one office to
another, it should take no longer than a month for the A-file to arrive
at the receiving office and for NFTS to be updated. During our review,
USCIS checked NFTS and found 107,000 A-files that have been in transit
over a month but had yet to be recorded as received in NFTS. Nearly
63,000 had been in transit more than 3 months.
GAO's Standards for Internal Control in the Federal Government also
states that transactions and other significant events should be
promptly recorded so that they maintain their relevance, value, and
usefulness to management in controlling operations and making
decisions. Although USCIS considers compliance with NFTS procedures
critical to enabling it to maintain control over A-files, DHS staff are
not always complying with these procedures.
According to USCIS officials, DHS staff are not always recording the
movement of an A-file in NFTS, resulting in inaccurate information on
the location of A-files. Officials from 10 of the 13 USCIS district
offices we spoke with claim that the failure to record the movement of
files in NFTS is a major reason for delays in locating an A-file, in
not being able to locate an A-file at all, and in an A-file being
declared lost. One district director stated that the cooperation of
other DHS components in adhering to file transfer procedures was
imperative, especially since they maintained A-files relating to
national security investigations and other sensitive issues. According
to USCIS records officials, the USCIS Records Division has not
conducted a formal study or evaluation as to why NFTS users are not
complying with all NFTS and ROH procedures. This cooperation is
important, especially because USCIS has no authority to enforce
compliance with file-tracking procedures among the other DHS
components. The report summarizing the San Diego district's April 2005
file audit cited above stated that the number of files, in the
thousands, that were not in the location shown in NFTS or could not be
found was "staggering" and attested to the need to ensure that all
personnel in all units and agencies use NFTS and follow procedures.
According to the report, several locations were not using NFTS although
NFTS was available. USCIS records officials stated that lack of
compliance with NFTS procedures was "very prevalent." As of July 27,
2006, for the 14 district offices we included in our review, NFTS
indicated that about 111,000 A-files were lost.
USCIS officials offered several reasons why some staff may not be
complying with NFTS file-tracking procedures. According to the report
summarizing the San Diego district's April 2005 file audit, additional
NFTS training is needed and compliance with the NFTS procedures should
be mandated for all sites. The audit report recommended regular NFTS
workshops for USCIS, CBP, and ICE staff. USCIS records officials stated
that local management may not be emphasizing enough the importance of
using NFTS. ICE officials we spoke to commented that they believe some
of the NFTS file transfer procedures are cumbersome, resulting in some
ICE staff circumventing them and not recording the file movement in
NFTS. For example, whether sending or receiving A-files, the ROH
requires that they all be routed through the local USCIS records unit
whenever a file needs to be transferred from one ICE field location to
another. This is because members of USCIS staff are the only ones
allowed to transfer a file from one field location to another. However,
according to ICE officials, because of the urgency of the situation,
ICE personnel may send an A-file directly from one ICE office to
another, bypassing the USCIS records units. As a result, the file
movement to the new location is not recorded in NFTS. USCIS records
officials stated that they do not believe lack of compliance stems from
any technical problems with using NFTS because the system is Web-based
and relatively easy to use.
Missing A-files Can Affect the Naturalization Adjudication Process in
Several Ways:
Missing A-files can cause delays in awarding immigration benefits,
hinder USCIS's ability to uncover immigration fraud, and limit DHS's
ability to take enforcement actions. According to USCIS's ROH, lost or
missing A-files can cause delays or errors in awarding immigration
benefits and can hamper investigation and enforcement actions. For
example, USCIS procedures for processing naturalization applications
allow USCIS to wait up to 3 months to try to find an A-file, thereby
delaying adjudicating the application. According to several USCIS
district officials, USCIS staff spend additional time and effort trying
to locate files that are not in the location identified in NFTS, thus
delaying their ability to process benefits quickly. Officials from all
of the district offices we spoke with told us that USCIS faces an
increased risk of granting naturalization to an ineligible applicant
when the adjudicator does not have the A-file available because the
file may contain potentially disqualifying information. Officials from
several district offices stated that the A-file is needed to look for
any inconsistencies between the naturalization application and other
applications that the applicant had submitted when applying for
previous benefits like legal permanent residency. For example, a
naturalization application may contain facts about the applicant's
marital or family (children) status that are inconsistent with
information in the A-file, a possible indication of fraud that may not
be uncovered without the A-file. These types of inconsistencies cannot
be checked without the A-file. In addition, USCIS conducts background
security checks on all naturalization applicants via the Interagency
Border Inspection System (IBIS).[Footnote 6] IBIS guidance requires an
IBIS name check on all names an applicant may have used. According to
several district officials, the A-file may contain other names
(aliases) the applicant may have used that should be checked against
IBIS. Therefore, without the A-file, any potentially damaging
information related to these other names may not be uncovered,
increasing the risk of granting naturalization to an ineligible
applicant. DHS's ability to take an enforcement action against an
applicant may also be compromised. According to an ICE attorney, some
immigration judges may be reluctant to, for example, order an alien
removed from the United States without the complete A-file.
Naturalization Quality Procedures Help to Mitigate the Risk of
Adjudicating a Naturalization Application without an A-file:
Officials we spoke with stated that the steps contained in the
Naturalization Quality Procedures mitigate somewhat the risk of
naturalizing someone who is ineligible. For example, adjudicators must
take additional steps when adjudicating a naturalization application
without an A-file. Specifically, these steps include:
* verifying the applicant's lawful admission to the United States and
that the applicant has lived in the United States as a lawful permanent
resident for the required amount of time--generally, 5 years--and lack
of disqualifying information in USCIS databases,
* extra supervisory reviews to ensure that naturalization processing
procedures have been followed, and:
* not scheduling the oath ceremony on the same day that the
naturalization application is adjudicated to allow sufficient time for
the required supervisory reviews.
Data from USCIS's quality assurance audit of the naturalization program
indicate that USCIS staff is following procedures nearly all of the
time when adjudicating a naturalization application without an A-file.
Of the 129 quality assurance audit cases sampled in fiscal year 2005
where an A-file was not available, USCIS staff did not follow all of
the required procedures in 5 cases.
Officials from several district offices told us that the standard
naturalization adjudication procedures (applicable when an A-file is
either available or missing), such as background security checks,
somewhat reduce the risk of granting naturalization to someone who is
ineligible. For example, as part of USCIS's background security check,
USCIS is to conduct an IBIS name check as well as both a fingerprint
and FBI name check. In an April 2006 memorandum, the USCIS Director of
Operations directed that naturalization interviews should not be
scheduled until all background checks have been completed to ensure
that all background security issues are resolved before USCIS
interviews the applicant. According to officials from several district
offices, the background security checks mitigate, somewhat, the risk of
naturalizing someone who poses a potential national security or public
safety threat.
Conclusions:
Although USCIS deems having an A-file critical to adjudicating a
naturalization application, USCIS staff are not required to record
whether an A-file was used to adjudicate a naturalization application.
Recording whether an A-file was used to adjudicate a naturalization
application could help USCIS assess the extent of the risk posed by
adjudicating naturalization applications without an A-file and what
actions may be necessary to address the problem. DHS staff who have
access to A-files may not be consistently using NFTS to track the
movement of A-files, hindering the ability to locate A-files when
needed. While officials offered suggestions as to why staff may not be
complying, such as the lack of NFTS training, it is unclear to what
extent staff are not complying and why. Knowing the extent to which
staff are not complying and why and addressing these reasons would
increase DHS's ability to locate and provide A-files for adjudicators
and others, thereby reducing the risk associated with adjudicating a
naturalization application and other immigration benefits without the A-
file.
Recommendations for Executive Action:
In order to improve USCIS's management information, prevent unnecessary
delay, and more efficiently adjudicate applications, we are
recommending that the Secretary of Homeland Security direct the
Director of USCIS to:
* require users to record or note whether an A-file was used to
adjudicate a naturalization application and:
* work together with other DHS users of A-files to:
- determine the extent to which staff may not be complying with NFTS
procedures for updating the system and why and:
- correct any identified deficiencies in file-tracking compliance.
Agency Comments and Our Evaluation:
We provided a draft of this report to DHS for review. On October 24,
2006 DHS provided written comments which are shown in appendix II. DHS
also provided technical comments which we incorporated as appropriate.
DHS agreed with both of our recommendations and stated that the report
generally provides a good overview of the complexities associated with
the process for ensuring adjudication officers have A-files when
adjudicating naturalization applications.
Regarding our recommendation to require users to record or note whether
an A-file was used to adjudicate a naturalization application, DHS
stated that it plans to modify its CLAIMS 4 system to make the data
field related to file status mandatory. USCIS plans to make this
modification in early to mid 2007.
Regarding our recommendation that USCIS work together with other DHS
users of A-files to determine the extent to which staff may not be
complying with NFTS procedures and why and to correct any deficiencies
in file-tracking procedures, DHS stated that information obtained from
recently completed visits to USCIS, CBP and ICE field offices will help
USCIS determine the level of compliance with file tracking procedures
and identify remediation efforts required by each agency. This
information will also serve as the basis for a planned joint policy on
A-file management. DHS also cited several efforts it has taken or is
planning to take to improve the management of A-files. For example,
USCIS and CBP records managers have formed a partnership and are
working to improve responsiveness to records management needs. USCIS
established File Control Offices at several sub-offices allowing these
sub-offices to move files to requesting offices as quickly as possible.
USCIS' Records Management Branch will evaluate NFTS reports to track
files that are not transferred within a reasonable amount of time and
notify appropriate components to ensure compliance with policies and
procedures. USCIS will continue on-site training as NFTS continues to
be deployed across DHS.
As arranged with your offices, unless you publicly announce its
contents earlier, we plan no further distribution of this report until
30 days after its issue date. At that time, we will send copies of this
report to the Secretary of the Department of Homeland of Security and
other interested congressional committees. We will also make copies
available to others upon request. In addition, the report will be
available at no charge on GAO's Web site at [Hyperlink,
http://www.gao.gov].
If you or your staff have any questions about this report or wish to
discuss it further, please contact me at (202) 512-8777 or by e-mail at
JonesPL@gao.gov. Contact points for our Offices of Congressional
Relations and Public Affairs may be found on the last page of this
report. Key contributors to this report are listed in appendix III.
Sincerely yours,
Signed by:
Paul L. Jones,
Director, Homeland Security and Justice Issues:
[End of section]
Appendix I: Scope and Methodology:
To address all of our objectives, we interviewed United States
Citizenship and Immigration Services (USCIS) headquarters officials,
reviewed relevant documents, and sent e-mail questionnaires and
followed up with phone calls to officials and staff from 13 (Chicago,
Dallas, Detroit, Houston, Los Angeles, Miami, Newark, New York City,
Philadelphia, San Diego, San Francisco, Seattle and Washington, D.C.)
of USCIS's 33 district offices. We obtained written responses to our
questionnaire from another district office (Boston). We selected these
offices because they adjudicated most of the naturalization
applications. Specifically, USCIS data indicate that these 14 offices
adjudicated nearly two-thirds, or about 497,000, of the approximately
715,000 naturalization applications adjudicated in fiscal year 2005. In
addition, to examine the extent to which USCIS records how often
naturalization applications are adjudicated without an A-file, as well
as the reasons why an A-file might be missing and what steps USCIS
takes to compensate for any lack of an A-file during an adjudication
process we obtained data related to:
* naturalization applications adjudicated in fiscal year 2005 contained
in the Computer-Linked Application Information Management System
(CLAIMS) 4 database that records information from the naturalization
application and related information,
* the results from USCIS quality assurance audits of a sample of
naturalization applications reviewed in fiscal year 2005, and:
* A-files indicated as lost and, as having been in transit and yet to
be recorded as received in USCIS's National File Tracking System
(NFTS).
We also reviewed policies and procedures related to processing
naturalization applications and instructions and guidance about using,
locating, and requesting A-files. In a prior review, we determined how
USCIS ensures the quality and consistency of adjudicator decisions by
reviewing USCIS reports and data on accuracy rates related to its two
quality assurance programs, interviewing USCIS officials in the
Performance Management Division, reviewing the findings and
recommendations of an independent study on USCIS's quality assurance
programs and, discussing supervisory review practices with senior
managers at the field offices we visited. However, we did not
independently verify the extent and quality of supervisory
review.[Footnote 7]
We assessed the reliability of CLAIMS 4 and NFTS data by (1) reviewing
summary data and specific data elements for obvious errors in accuracy
and completeness, (2) reviewing related documentation, and (3)
interviewing USCIS staff knowledgeable about the CLAIMS 4 and NFTS
systems. For NFTS, we also observed how A-files are located,
transferred, and received. However, we did not independently evaluate
whether technical malfunctions may be a factor in the number of files
with improperly identified locations, although we have no reason to
believe that technical malfunctions have occurred. We found that
information and summaries of the NFTS, CLAIMS 4, and quality assurance
data were sufficiently reliable for the purposes of this report. We
conducted our review from August 2005 through August 2006 in accordance
with generally accepted government auditing standards.
[End of section]
Appendix II: Comments from the Department of Homeland Security:
U.S. Department of Homeland Security:
Washington, DC 20523:
October 24, 2006:
Mr. Paul L. Jones:
Director:
Homeland Security and Justice Issues:
U.S. Government Accountability Office:
441 G Street, NW:
Washington, DC 20548:
Dear Mr. Jones:
Thank you for the opportunity to review and comment on the Government
Accountability Office's (GAO's) draft report entitled Immigration
Benefits: Additional Efforts Needed to Help Ensure Allen Files are
Located when Needed (GAO-07-85). Technical continents have been
provided under separate cover.
The report generally provides a good overview of the complexities
associated with the process for ensuring adjudication officers have
alien files (A-Files) when adjudicating applications for
naturalization. In addition, the report acknowledges the strong
controls United States Citizenship and Immigration Services (USCIS) has
put in place if the A-File cannot be located by the time the
adjudication officer makes a decision on the application.
The GAO found the USCIS CLAIMS 4 database contains a data field that
indicates the status of the A-File, such as whether the file has been
received in the district office, requested but not yet received, or
that the A-File is declared lost. However, the data field is an
optional field that USCIS staff may complete at various times during
the adjudication process or not at all. As such, the GAO recommends
that to improve USCIS' management information, the Director of USCIS
should require users to record or note whether an A-File was used to
adjudicate a naturalization application.
USCIS agrees with GAO's recommendation and will make the modification
in CLAIMS 4 by making the "data field related to file status
mandatory." The modification would be slated for Release 5.20 of CLAIMS
4 tentatively scheduled for deployment in early to mid calendar year
2007. However, it is important to note, when an A-File is not available
and the adjudication decision is to grant the benefit, the case is
forwarded in CLAIMS 4 to the supervisor. No further processing in
CLAIMS 4 can be done until the supervisor reviews the adjudication
officer's recommendation. With supervisory concurrence, CLAIMS 4 will
move the case to scheduling of the oath ceremony. A November 2005
memorandum from the Acting Associate Director, Domestic Operations
provides procedures that must be strictly adhered to when adjudicating
from a temporary file (T-File). These procedures include:
* All security checks must be initiated, completed, documented and
maintained in the file;
* Derogatory information encountered during the security checks must be
obtained, resolved, documented and maintained in the file; and,
* Final adjudication on a T-File may not proceed until the Assistant
District Director for Adjudications, Assistant Service Center Director
or Officer-in-Charge has thoroughly reviewed and approved the
recommended decision, adding "This authority may not be delegated."
We believe the automated control that transfers the file to a
Supervisory Adjudication Officer for a final decision on the
application and the November 2005 guidance addresses and minimizes the
risk of granting naturalization to an ineligible applicant.
The GAO also reported that USCIS officials noted the difficulty in
locating A-Files was due to locations within the National File Tracking
System, (NFTS), being incorrect or not up to date. The GAO recommended
the Director a) work with other DHS users of A-Files to determine the
extent to which staff may not be complying with NFTS procedures for
updating the system and why, and b) correct any identified deficiencies
in file tracking.
Adherence to procedures for A-File movement and accountability are
paramount to USCIS' goals to "ensure security and integrity of the
immigration system" Adherence is also required to facilitate workload
and it is critical to ensure that A-Files are available for the
adjudication of immigration benefits. NFTS was designed to maintain
accountability and proper maintenance of A-Files. The Records
Operations Handbook was established to define records policies and
outline specific rules governing the movement of A-Files and the user's
responsibilities. However, the lack of records support staff at DHS
offices has at times limited full compliance with NFTS and records
procedures. Since the formation of DHS, requests for expedited handling
of A-Files have increased and many DHS programs have adjusted resources
to meet customer needs and to avoid circumventing established
procedures for file movement. This is an ongoing effort and all DHS
components share the same concerns. We are working together to ensure
each program's needs are met. For example, the Records Tri-Bureau
representatives and the DHS Records Officer participated in cross-
program site visits from September 2004 through October 2006. The
information gathered will serve as a basis for a joint policy on A-File
management and will help identify and determine the level of compliance
as well as remediation efforts required by each agency. Further, the
USCIS and CBP Records Managers have formed a partnership and are
working to improve responsiveness to records management needs.
USCIS has also established additional File Control Offices at several
of its sub-offices throughout the country. The additional File Control
Offices will allow files to be received in and transferred out at the
local offices rather than at the District Offices. This change will
enable files to be moved to requesting locations as quickly as
possible. The USCIS Records Management Branch Operations Support
Section will evaluate the NFTS reports to track files that are not
transferred within a reasonable amount of time and notify the
appropriate components to ensure compliance with policies and
procedures. USCIS will also continue to correct any identified
deficiencies in file tracking compliance and will continue to work with
our ICE and CBP counterparts to help them understand that by following
proper procedures, data integrity will not be compromised and, when
urgent matters do arise, being able to locate the file quickly is most
important. This will allow A-Files to be available to USCIS
adjudication officers to avoid the approval of benefits without the
appropriate A-File information.
USCIS will continue on-site training as NFTS continues to be deployed
across DHS. The training is provided to all users and is customized for
Records and Non-Records personnel. To supplement the user's training
needs and to accommodate staffing changes throughout DHS, the Records
Division developed and posted an NFTS web-based training application.
The NFTS web-based training is available on the USCIS and ICE web
portals and can be accessed from the USCIS/Records web site. Updated
copies of training materials, links to training, quick reference cards,
links to the Records Operations Handbook and forms are also available
on the Records web site. Additionally, the USCIS Records Division
provides additional on-site training as requested by other USCIS
offices, ICE and CBP. Training is also provided by the Records Desk
Officers while on routine Records site visits.
For a longer-term solution, USCIS is transforming its operations and is
moving into a digitized environment. In preparing for this transition,
USCIS recognized the need to involve all agencies that regularly use A-
Files to identify and prioritize requirements for the use of A-Files in
a digital environment. USCIS has established workgroups that developed
a comprehensive list of requirements reiterating the need to provide
immigrant information timely and accurately. This digitization effort
will significantly improve the accessibility of the file and eliminate
the requirement to transfer physical files throughout the Department.
Thank you again for the opportunity to comment on this draft report and
we look forward to working with you on future homeland security issues.
Sincerely,
Signed by:
Steven J. Pecinovsky:
Director:
Departmental GAO/OIG Liaison Office:
[End of section]
Appendix III: GAO Contact and Staff Acknowledgments:
GAO Contact:
Paul L. Jones, (202) 512-8777:
Staff Acknowledgments:
In addition to the above, Michael Dino, Assistant Director; Richard
Ascarate; Jenny Chanley; Frances Cook; Carlos Garcia; Julian King; and
Brian Lipman were key contributors to this report.
FOOTNOTES
[1] Naturalization may be revoked through judicial proceedings
instituted by a U.S. Attorney's Office on the ground that
naturalization was illegally procured or procured by concealment of a
material fact or by willful misrepresentation. 8 U.S.C. § 1451.
[2] See GAO, Immigration Benefits: Improvements Needed to Address
Backlogs and Ensure Quality of Adjudications, GAO-06-20 (Washington,
D.C.: Nov. 21, 2005).
[3] See GAO, Information Technology: Near-Term Effort to Automate Paper-
Based Immigration Files Needs Planning Improvements, GAO-06-375
(Washington, D.C.: Mar. 31, 2006). See also DHS, Office of Inspector
General, USCIS Faces Challenges in Modernizing Information Technology,
OIG-05-41 (Washington, D.C.: September 2005).
[4] Staff at the three service centers without NFTS use USCIS's Central
Index System to record when they request, receive, and transfer A-
files. A computer interface between CIS and NFTS updates the A-file
movement in each system so that staff who cannot use NFTS can record
the movement of an A-file. The movement will then be recorded in NFTS
and vice versa.
[5] GAO, Standards for Internal Control in the Federal Government, GAO/
AIMD-00-21.3.1 (Washington, D.C.: November 1999).
[6] IBIS provides the law enforcement community with access to computer-
based enforcement files of common interest and also provides access to
the FBI's National Crime Information Center (NCIC).
[7] See GAO-06-20.
GAO's Mission:
The Government Accountability Office, the audit, evaluation and
investigative arm of Congress, exists to support Congress in meeting
its constitutional responsibilities and to help improve the performance
and accountability of the federal government for the American people.
GAO examines the use of public funds; evaluates federal programs and
policies; and provides analyses, recommendations, and other assistance
to help Congress make informed oversight, policy, and funding
decisions. GAO's commitment to good government is reflected in its core
values of accountability, integrity, and reliability.
Obtaining Copies of GAO Reports and Testimony:
The fastest and easiest way to obtain copies of GAO documents at no
cost is through GAO's Web site (www.gao.gov). Each weekday, GAO posts
newly released reports, testimony, and correspondence on its Web site.
To have GAO e-mail you a list of newly posted products every afternoon,
go to www.gao.gov and select "Subscribe to Updates."
Order by Mail or Phone:
The first copy of each printed report is free. Additional copies are $2
each. A check or money order should be made out to the Superintendent
of Documents. GAO also accepts VISA and Mastercard. Orders for 100 or
more copies mailed to a single address are discounted 25 percent.
Orders should be sent to:
U.S. Government Accountability Office 441 G Street NW, Room LM
Washington, D.C. 20548:
To order by Phone: Voice: (202) 512-6000 TDD: (202) 512-2537 Fax: (202)
512-6061:
To Report Fraud, Waste, and Abuse in Federal Programs:
Contact:
Web site: www.gao.gov/fraudnet/fraudnet.htm E-mail: fraudnet@gao.gov
Automated answering system: (800) 424-5454 or (202) 512-7470:
Congressional Relations:
Gloria Jarmon, Managing Director, JarmonG@gao.gov (202) 512-4400 U.S.
Government Accountability Office, 441 G Street NW, Room 7125
Washington, D.C. 20548:
Public Affairs:
Paul Anderson, Managing Director, AndersonP1@gao.gov (202) 512-4800
U.S. Government Accountability Office, 441 G Street NW, Room 7149
Washington, D.C. 20548:
